-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ILuHgjy0lwY1dTdplAeBA7Wnllet9oJGC5roBASE9skdtJtlcTKGphA3HKIvhGwc Gvbv1mpWOmywOmK9o2krrA== 0001140361-10-042149.txt : 20101025 0001140361-10-042149.hdr.sgml : 20101025 20101025160051 ACCESSION NUMBER: 0001140361-10-042149 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101025 DATE AS OF CHANGE: 20101025 EFFECTIVENESS DATE: 20101025 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FALCON POINT CAPITAL, LLC CENTRAL INDEX KEY: 0001251557 IRS NUMBER: 943256485 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10492 FILM NUMBER: 101139964 BUSINESS ADDRESS: STREET 1: TWO EMBARCADERO CENTER STE 1300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4157829600 MAIL ADDRESS: STREET 1: TWO EMBARCADERO CENTER STE 1300 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: EGM CAPITAL LLC DATE OF NAME CHANGE: 20030701 13F-HR 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2010 Check here if Amendment []; Amendment Number: ------- This Amendment (Check only one.): [] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Falcon Point Capital, LLC Address: Two Embarcadero Center, Suite 1300 San Francisco, CA 94111 Form 13F File Number: 28-4994 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Persons Signing this Report on Behalf of Reporting Manager: Name: Michael J. Mahoney Title: Senior Managing Director Phone: 415-782-9600 Signature, Place, and Date of Signing: /s/ Michael J. Mahoney San Francisco, CA 10/22/2010 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 117 Form 13F Information Table Value Total: $ 96,299 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- Aaron's, Inc. COM 002535201 348 18847 SH SOLE 18847 0 0 Advisory Board Company COM 00762w107 1192 27007 SH SOLE 27007 0 0 Affiliated Managers Group COM 008252108 442 5665 SH SOLE 5665 0 0 Alliance Data Systems Corporat COM 018581108 1583 24261 SH SOLE 24261 0 0 American Axle & Mfg Holdings, COM 024061103 911 100951 SH SOLE 100951 0 0 Ameriprise Financial Incorpora COM 03076C106 795 16800 SH SOLE 16800 0 0 Ancestry.com COM 032803108 1624 71374 SH SOLE 71374 0 0 Apple Inc COM 037833100 1796 6330 SH SOLE 6330 0 0 Baidu.Com COM 056752108 1357 13220 SH SOLE 13220 0 0 CBS Corp COM 124857202 1582 99720 SH SOLE 99720 0 0 CF Industries Holdings Inc COM 125269100 1110 11619 SH SOLE 11619 0 0 Carrizo Oil & Gas Inc. COM 144577103 1025 42826 SH SOLE 42826 0 0 Catalyst Health Solutions Inc. COM 14888b103 552 15676 SH SOLE 15676 0 0 Cbeyond, Inc. COM 149847105 285 22200 SH SOLE 22200 0 0 Chicago Bridge & Iron-NY SHR COM 167250109 469 19169 SH SOLE 19169 0 0 Cinemark Holdings Incorporated COM 17243v102 572 35511 SH SOLE 35511 0 0 City Telecom (HK) Ltd ADR COM 178677209 463 36909 SH SOLE 36909 0 0 Cogo Group Inc. COM 192448108 771 124779 SH SOLE 124779 0 0 Concho Resources Inc COM 20605p101 257 3889 SH SOLE 3889 0 0 Copart Inc. COM 217204106 358 10856 SH SOLE 10856 0 0 Cypress Semiconductor Corp. COM 232806109 876 69666 SH SOLE 69666 0 0 DG Fastchannel, Inc COM 23326r109 530 24366 SH SOLE 24366 0 0 Diamond Hill Investment Group, COM 25264R207 2361 32348 SH SOLE 32348 0 0 Durect Corp. COM 266605104 700 275400 SH SOLE 275400 0 0 EMC Corp COM 268648102 427 21000 SH SOLE 21000 0 0 Einstein Noah Restaurant Grp COM 28257u104 1290 121713 SH SOLE 121713 0 0 Equinix Inc COM 29444u502 1338 13069 SH SOLE 13069 0 0 Expeditors Int'l. Inc. COM 302130109 698 15108 SH SOLE 15108 0 0 Finisar Corp. COM 31787A507 3059 162781 SH SOLE 162781 0 0 Focus Media Holdings COM 34415v109 437 18000 SH SOLE 18000 0 0 Google Inc. Class A COM 38259p508 1627 3095 SH SOLE 3095 0 0 Hanger Orthopedic COM 41043F208 863 59376 SH SOLE 59376 0 0 Health Management Associates I COM 421933102 518 67566 SH SOLE 67566 0 0 Herbalife Ltd COM g4412g101 682 11300 SH SOLE 11300 0 0 Hewlett Packard Co. COM 428236103 320 7600 SH SOLE 7600 0 0 Hexcel Corp COM 428291108 639 35900 SH SOLE 35900 0 0 Hub Group, Inc. COM 443320106 362 12367 SH SOLE 12367 0 0 ICF International COM 44925C103 240 9583 SH SOLE 9583 0 0 Icon PLC - Sponsored ADR COM 45103t107 559 25877 SH SOLE 25877 0 0 Incyte Genomics COM 45337C102 209 13074 SH SOLE 13074 0 0 Infospace.com COM 45678t300 239 27601 SH SOLE 27601 0 0 Interactive Intelligence, Inc. COM 45839M103 1864 105882 SH SOLE 105882 0 0 Intermap Technologies Corp COM 458977204 44 61574 SH SOLE 61574 0 0 Ixia Communications COM 45071r109 166 13400 SH SOLE 13400 0 0 JB Hunt Transportation COM 445658107 884 25487 SH SOLE 25487 0 0 Joy Global Inc COM 481165108 703 10000 SH SOLE 10000 0 0 Kelly Services Incorporated COM 488152208 871 74293 SH SOLE 74293 0 0 LTX-Credence Corporation COM 502403207 177 84900 SH SOLE 84900 0 0 Landstar COM 515098101 908 23503 SH SOLE 23503 0 0 Las Vegas Sands COM 517834107 1238 35526 SH SOLE 35526 0 0 Live Nation Entertainment, Inc COM 538034109 279 28235 SH SOLE 28235 0 0 MDC Partners Incorporated COM 552697104 1724 128771 SH SOLE 128771 0 0 MICROS Systems, Inc. COM 594901100 1258 29719 SH SOLE 29719 0 0 Magma Design Automation COM 559181102 608 164327 SH SOLE 164327 0 0 Market Vectors ETF Trust Gold COM 57060u589 885 26509 SH SOLE 26509 0 0 Medassets Incorporated COM 584045108 300 14263 SH SOLE 14263 0 0 Medical Properties Trust Incor COM 58463j304 581 57300 SH SOLE 57300 0 0 Merit Medical Systems Incorpor COM 589889104 178 11220 SH SOLE 11220 0 0 Microsoft Corp. COM 594918104 2005 81868 SH SOLE 81868 0 0 Monolithic Power Systems, Inc COM 609839105 228 13940 SH SOLE 13940 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ -------------- --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- Mosaic Company COM 61945a107 840 14300 SH SOLE 14300 0 0 NXP Semiconductors COM bbg000bn6 291 23500 SH SOLE 23500 0 0 National Cinemedia, Inc. COM 635309107 190 10590 SH SOLE 10590 0 0 Nektar Therapeutics COM 640268108 262 17751 SH SOLE 17751 0 0 Newmont Mining Corp COM 651639106 1965 31285 SH SOLE 31285 0 0 Newport Corp COM 651824104 860 75845 SH SOLE 75845 0 0 Oclaro Inc. COM 67555N206 425 26560 SH SOLE 26560 0 0 Oplink Communications COM 68375q403 940 47485 SH SOLE 47485 0 0 Otelco Inc. COM 688823202 1488 96051 SH SOLE 96051 0 0 Panera Bread Company COM 69840w108 1139 12856 SH SOLE 12856 0 0 Plantronics Inc. COM 727493108 1628 48184 SH SOLE 48184 0 0 Precision Castparts COM 740189105 1128 8861 SH SOLE 8861 0 0 Proshares Ultrashort Barclays COM 74347r297 272 8700 SH SOLE 8700 0 0 Quality Systems Inc. COM 747582104 1117 16844 SH SOLE 16844 0 0 Quest Software COM 74834T103 686 27900 SH SOLE 27900 0 0 Rightnow Technologies, Inc. COM 76657r106 1824 92613 SH SOLE 92613 0 0 Salem Communications COM 794093104 73 24537 SH SOLE 24537 0 0 Shoretel Inc. COM 825211105 160 32200 SH SOLE 32200 0 0 Silver Wheaton Corporation COM 828336107 493 18500 SH SOLE 18500 0 0 Sina Corporation COM g81477104 1098 21700 SH SOLE 21700 0 0 Skyworks Solutions Inc. COM 83088m102 581 28100 SH SOLE 28100 0 0 Smith Micro Software, Inc. COM 832154108 1024 103006 SH SOLE 103006 0 0 Successfactors COM 864596101 558 22230 SH SOLE 22230 0 0 Sunopta Incorporated COM 8676EP108 272 44654 SH SOLE 44654 0 0 Synopsys Inc. COM 871607107 799 32240 SH SOLE 32240 0 0 Taleo Corp - Class A COM 87424n104 1086 37475 SH SOLE 37475 0 0 Tekelec COM 879101103 240 18500 SH SOLE 18500 0 0 Tellabs Inc. COM 879664100 512 68690 SH SOLE 68690 0 0 Tenneco Incorporated COM 880349105 996 34378 SH SOLE 34378 0 0 The GEO Group COM 36159r103 1430 61226 SH SOLE 61226 0 0 UTI Worldwide COM G87210103 359 22346 SH SOLE 22346 0 0 UTStarcom COM 918076100 381 175423 SH SOLE 175423 0 0 Urstadt Biddle Properties COM 917286205 870 48140 SH SOLE 48140 0 0 Wabash National Corp. COM 929566107 665 82241 SH SOLE 82241 0 0 Wet Seal COM 961840105 250 73632 SH SOLE 73632 0 0 Bank of America 8.2% PRD 060505765 391 15000 SH SOLE 15000 0 0 JPMorgan Chase 8.625% PRD 46625H621 424 15000 SH SOLE 15000 0 0 Lasalle Hotel Properties Prefe PRD 517942504 1256 50000 SH SOLE 50000 0 0 Alliance Data Systems 1.75% du CVBOND 018581AD0 925 895000 PRN SOLE 895000 0 0 Bell Microproducts 3.75% due 3 CVBOND 078137AC0 500 500000 PRN SOLE 500000 0 0 Carrizo Oil & Gas 4.375% due 6 CVBOND 144577AA1 462 500000 PRN SOLE 500000 0 0 Charles River 2.875% 6/15/34 CVBOND 159852AB8 747 750000 PRN SOLE 750000 0 0 Charming Shoppes 1.125% due 5/ CVBOND 161133AE3 826 1000000 PRN SOLE 1000000 0 0 Conceptus Inc. 2.25% due 2/15/ CVBOND 206016AA5 937 1000000 PRN SOLE 1000000 0 0 Gilead Sciences 0.5% due 5/1/2 CVBOND 375558AG8 514 500000 PRN SOLE 500000 0 0 Health Management Associates I CVBOND 421933AJ1 232 220000 PRN SOLE 220000 0 0 Hercules II 6/30/29 6.5% CVBOND 427056BC9 1372 1769000 PRN SOLE 1769000 0 0 NII Holdings 3.125% CVBOND 62913FAJ1 727 750000 PRN SOLE 750000 0 0 Providence Service 6.5% due 5/ CVBOND 743815AB8 941 1000000 PRN SOLE 1000000 0 0 Radisys Corp 2.75% due 2/15/20 CVBOND 750459AE9 899 924000 PRN SOLE 924000 0 0 United Rentals 1.875% due 10/1 CVBOND 911365AH7 497 500000 PRN SOLE 500000 0 0 AMG Capital 5.15% CVPFD 00170F209 1082 30000 SH SOLE 30000 0 0 Carriage Service Cap CVPFD 14444T309 1150 35125 SH SOLE 35125 0 0 Continental Air 6% 11/15/30 CVPFD 210796306 1069 30000 SH SOLE 30000 0 0 Crown Castle Int Pfd 6.25% due CVPFD 228227401 1458 23700 SH SOLE 23700 0 0 Newell Rubbermaid QUIPS CVPFD 651195307 1195 30200 SH SOLE 30200 0 0 United Rentals 6.5% 8/1/28 CVPFD 91136H306 1424 43166 SH SOLE 43166 0 0
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